Order Cancelling Registrations of Certain Transfer Agents, 72577-72578 [2022-25665]
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Federal Register / Vol. 87, No. 226 / Friday, November 25, 2022 / Notices
Electronic Comments:
• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
BOX–2022–29 on the subject line.
Paper Comments:
• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549–1090.
khammond on DSKJM1Z7X2PROD with NOTICES
All submissions should refer to File
Number SR–BOX–2022–29. This file
number should be included on the
subject line if email is used. To help the
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
internet website (https://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for website viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE,
Washington, DC 20549, on official
business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such
filing also will be available for
inspection and copying at the principal
office of the Exchange. All comments
received will be posted without change.
Persons submitting comments are
cautioned that we do not redact or edit
personal identifying information from
comment submissions. You should
submit only information that you wish
to make available publicly. All
submissions should refer to File
Number SR–BOX–2022–29 and should
be submitted on or before December 16,
2022.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.22
Sherry R. Haywood,
Assistant Secretary.
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–96354]
Order Cancelling Registrations of
Certain Transfer Agents
November 18, 2022.
On September 27, 2022, notice was
published in the Federal Register that
the Securities and Exchange
Commission (‘‘Commission’’) intended
to issue an order, pursuant to section
17A(c)(4)(B) of the Securities Exchange
Act of 1934 (‘‘Act’’),1 cancelling the
registrations of certain transfer agents.2
For the reasons discussed below, the
Commission is cancelling the
registration of the transfer agents
identified in the attached Appendix.
FOR FURTHER INFORMATION CONTACT:
Moshe Rothman, Assistant Director, or
Catherine Whiting, Special Counsel, at
(202) 551–4990, U.S. Securities and
Exchange Commission, Division of
Trading and Markets, 100 F Street NE,
Washington, DC 20549 or by email to
tradingandmarkets@sec.gov with the
phrase ‘‘Order Cancelling Transfer
Agent Registration’’ in the subject line.
Background
Section 17A(c)(4)(B) of the Act
provides that if the Commission finds
that any transfer agent registered with
the Commission is no longer in
existence or has ceased to do business
as a transfer agent, the Commission
shall by order cancel that transfer
agent’s registration. On September 27,
2022, the Commission published notice
of its intention to cancel the registration
of certain transfer agents whom it
believed were no longer in existence or
had ceased doing business as transfer
agents.3
In the notice, the Commission
identified 52 such transfer agents and
stated that at any time after November
1, 2022, the Commission intended to
issue an order canceling the
registrations of any or all of the
identified transfer agents. The
Commission received no responses to
the notice.
Accordingly, the Commission is
cancelling the registrations of the 52
transfer agents identified in the
Appendix attached to this Order.
Order
On the basis of the foregoing, the
Commission finds that each of the
transfer agents whose name appears in
[FR Doc. 2022–25666 Filed 11–23–22; 8:45 am]
1 15
U.S.C. 78q–1(c)(4)(B).
Exchange Act Release No. 34–95855
(Sept. 21, 2022), 87 FR 58590 (Sept. 27, 2022).
3 Id.
BILLING CODE 8011–01–P
2 Securities
22 17
CFR 200.30–3(a)(12), (59).
VerDate Sep<11>2014
19:43 Nov 23, 2022
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PO 00000
Frm 00136
Fmt 4703
Sfmt 4703
72577
the attached Appendix either is no
longer in existence or has ceased doing
business as a transfer agent.
It is therefore ordered pursuant to
Section 17A(c)(4)(B) of the Act that the
registration as a transfer agent of each of
the transfer agents whose name appears
in the attached Appendix be and hereby
is cancelled.
For the Commission by the Division
of Trading and Markets pursuant to
delegated authority.4
Action as set forth or recommended
herein approved pursuant to authority
delegated by the Commission under
Public Law 87–592.
For the Division of Trading and Markets.
Moshe Rothman,
Assistant Director.
J. Matthew DeLesDernier,
Deputy Secretary.
Appendix
Transfer agent name
Advanced Fund Administration, LLC
Ameritor Financial Corp ....................
Andesa Services, Inc ........................
Bank Of Commerce & Trust Co ........
Colbent Corp .....................................
Cronos Capital Corp .........................
Donald Rivers Goolsby Whfit ............
Dynamic Transfer Services Corp ......
Fidelity Transfer Services, Inc ...........
Financial Data Services Inc ..............
First National Bank In Sioux Falls .....
Foresight Asset Management LLC ...
Gartmore Investors Services, Inc ......
Grohe Aktiengesellschaft ..................
Gulf Registrar And Transfer Corp .....
Hartford Investor Services Co LLC ...
Interstate Transfer Co .......................
M & K Produce Inc ............................
National Western Life Insurance Co
Orbitex Fund Services Inc .................
Orion Share Transfer LLC .................
Patriot Stock Transfer LLC ................
Portfolios Inc .....................................
Preferred Partnership Services Inc ...
Presidential Life Corp ........................
Pyxis Global Financial Services ........
Republic Stock Transfer Inc ..............
Reserve Fund ....................................
Reserve Management Corp ..............
Reserve Petroleum Co ......................
Reserve
Short-Term
Investment
Trust ...............................................
Retirement System Consultants Inc ..
SCC Transfer, LLC ...........................
Seligman Common Stock Fund Inc ..
Seligman Core Fixed Income Fund
Inc ..................................................
Seligman High Income Fund Series
Seligman New Jersey Municipal
Fund Inc .........................................
Seligman Pennsylvania Municipal
Fund Series Inc .............................
Seligman Select Municipal Fund Inc
Seligman Tax-Aware Fund, Inc .........
Tass LLC ...........................................
The Provo Group, Inc .......................
Travelers Rest Resort Inc .................
Truman Stock Transfer LLC ..............
Universal Stock Transfer Co., Inc .....
Wall Street Transfer Agents Inc ........
West Coast Stock Transfer, Inc ........
4 17
CFR 200.30–3(a)(22).
E:\FR\FM\25NON1.SGM
25NON1
File No.
084–06396
084–00018
084–06233
084–06235
084–05927
084–00977
084–06560
084–06394
084–06405
084–01339
084–06228
084–06051
084–06229
084–06022
084–06136
084–05882
084–05573
084–06183
084–00693
084–01493
084–06295
084–06382
084–05551
084–05747
084–00816
084–06463
084–01124
084–00449
084–05838
084–00630
084–06156
084–01972
084–06579
084–00503
084–05921
084–01266
084–01686
084–01486
084–01896
084–05894
084–06115
084–05890
084–06056
084–06320
084–06308
084–06203
084–06138
72578
Federal Register / Vol. 87, No. 226 / Friday, November 25, 2022 / Notices
Transfer agent name
File No.
American Heritage Stock Transfer,
Inc ..................................................
Dominion Filing And Transfer Inc .....
European Fund Services S.A ...........
Pioneer Global Investments Ltd ........
Law Debenture Trust Co Of New
York ...............................................
084–06137
084–06514
084–06182
084–05682
084–06087
[FR Doc. 2022–25665 Filed 11–23–22; 8:45 am]
BILLING CODE 8011–01–P
Washington, DC 20549, on official
business days between the hours of
10:00 a.m. and 3:00 p.m. All statements
received will be posted without change.
Persons submitting comments are
cautioned that we do not redact or edit
personal identifying information from
comment submissions. You should
submit only information that you wish
to make available publicly.
The agenda
for the meeting includes: welcome,
announcement of a new access and
inclusion working group, and opening
remarks; approval of previous meeting
minutes; a panel discussion on account
statement disclosure entitled ‘‘Do client
statements adequately serve investors?’’;
a panel discussion regarding corporate
tax transparency; a panel discussion
regarding single-stock exchange-traded
funds; subcommittee reports; access and
inclusion working group report, and a
non-public administrative session.
MATTERS TO BE CONSIDERED:
SECURITIES AND EXCHANGE
COMMISSION
Sunshine Act Meetings
Notice is hereby given,
pursuant to the provisions of the
Government in the Sunshine Act, Public
Law 94–409, that the Securities and
Exchange Commission Investor
Advisory Committee will hold a public
meeting on Thursday, December 8,
2022. The meeting will begin at 10:00
a.m. (ET) and will be open to the public.
PLACE: The meeting will be conducted
by remote means. Members of the public
may watch the webcast of the meeting
on the Commission’s website at
www.sec.gov.
STATUS: The meeting will begin at 10:00
a.m. (ET) and will be open to the public
via webcast on the Commission’s
website at www.sec.gov. This Sunshine
Act notice is being issued because a
majority of the Commission may attend
the meeting.
Public Comment: The public is
invited to submit written statements to
the Committee. Written statements
should be received on or before
December 7, 2022.
Written statements may be submitted
by any of the following methods:
TIME AND DATE:
khammond on DSKJM1Z7X2PROD with NOTICES
Electronic Statements
• Use the Commission’s internet
submission form (https://www.sec.gov/
rules/other.shtml); or
• Send an email message to rulescomments@sec.gov. Please include File
No. 265–28 on the subject line; or
Paper Electronic Statements
• Send paper statements to Vanessa
A. Countryman, Secretary, Securities
and Exchange Commission, 100 F Street
NE, Washington, DC 20549–1090.
All submissions should refer to File No.
265–28. This file number should be
included on the subject line if email is
used. To help us process and review
your statement more efficiently, please
use only one method.
Statements also will be available for
website viewing and printing in the
Commission’s Public Reference Room,
100 F Street NE, Room 1503,
VerDate Sep<11>2014
19:43 Nov 23, 2022
Jkt 259001
CONTACT PERSON FOR MORE INFORMATION:
For further information and to ascertain
what, if any, matters have been added,
deleted or postponed; please contact
Vanessa A. Countryman from the Office
of the Secretary at (202) 551–5400.
Authority: 5 U.S.C. 552b.
Dated: November 22, 2022.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2022–25927 Filed 11–22–22; 4:15 pm]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–96361; File No. SR–NYSE–
2022–53]
Self-Regulatory Organizations; New
York Stock Exchange LLC; Notice of
Filing and Immediate Effectiveness of
Proposed Rule Change To Amend Its
Price List
November 18, 2022.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (the
‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on November
14, 2022, New York Stock Exchange
LLC (‘‘NYSE’’ or the ‘‘Exchange’’) filed
with the Securities and Exchange
Commission (the ‘‘Commission’’) the
proposed rule change as described in
Items I, II, and III below, which Items
have been prepared by the selfregulatory organization. The
Commission is publishing this notice to
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
Frm 00137
Fmt 4703
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to amend its
Price List to introduce monthly quoting
incentives for Designated Market
Makers (‘‘DMM’’) in assigned Exchange
Traded Products (‘‘ETP’’) for the first 12
months following listing on the
Exchange. The Exchange proposes to
implement the fee changes effective
November 14, 2022. The proposed rule
change is available on the Exchange’s
website at www.nyse.com, at the
principal office of the Exchange, and at
the Commission’s Public Reference
Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
self-regulatory organization included
statements concerning the purpose of,
and basis for, the proposed rule change
and discussed any comments it received
on the proposed rule change. The text
of those statements may be examined at
the places specified in Item IV below.
The Exchange has prepared summaries,
set forth in sections A, B, and C below,
of the most significant parts of such
statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The Exchange proposes monthly
quoting incentives for DMMs in
assigned ETPs for the first 12 months
following listing on the Exchange while
that ETP is listed on the Exchange.
The proposed change responds to the
current competitive environment where
order flow providers have a choice of
where to direct orders by offering
incentives to DMMs to quote and trade
at the national best bid or offer
(‘‘NBBO’’) 3 in assigned ETPs during the
first 12 months following the ETP’s
listing on the Exchange. The Exchange
also hopes thereby to encourage
additional ETPs to list and trade on the
Exchange.
The Exchange proposes to implement
the fee changes effective November 14,
2022.
3 See Rule 1.1(r) (definition of NBBO, Best
Protected Bid, Best Protected Offer, Protected Best
Bid and Offer (PBBO)).
1 15
PO 00000
solicit comments on the proposed rule
change from interested persons.
Sfmt 4703
E:\FR\FM\25NON1.SGM
25NON1
]]>Agencies
[Federal Register Volume 87, Number 226 (Friday, November 25, 2022)]
[Notices]
[Pages 72577-72578]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-25665]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-96354]
Order Cancelling Registrations of Certain Transfer Agents
November 18, 2022.
On September 27, 2022, notice was published in the Federal Register
that the Securities and Exchange Commission (``Commission'') intended
to issue an order, pursuant to section 17A(c)(4)(B) of the Securities
Exchange Act of 1934 (``Act''),\1\ cancelling the registrations of
certain transfer agents.\2\ For the reasons discussed below, the
Commission is cancelling the registration of the transfer agents
identified in the attached Appendix.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78q-1(c)(4)(B).
\2\ Securities Exchange Act Release No. 34-95855 (Sept. 21,
2022), 87 FR 58590 (Sept. 27, 2022).
FOR FURTHER INFORMATION CONTACT: Moshe Rothman, Assistant Director, or
Catherine Whiting, Special Counsel, at (202) 551-4990, U.S. Securities
and Exchange Commission, Division of Trading and Markets, 100 F Street
NE, Washington, DC 20549 or by email to [email protected] with
the phrase ``Order Cancelling Transfer Agent Registration'' in the
subject line.
Background
Section 17A(c)(4)(B) of the Act provides that if the Commission
finds that any transfer agent registered with the Commission is no
longer in existence or has ceased to do business as a transfer agent,
the Commission shall by order cancel that transfer agent's
registration. On September 27, 2022, the Commission published notice of
its intention to cancel the registration of certain transfer agents
whom it believed were no longer in existence or had ceased doing
business as transfer agents.\3\
---------------------------------------------------------------------------
\3\ Id.
---------------------------------------------------------------------------
In the notice, the Commission identified 52 such transfer agents
and stated that at any time after November 1, 2022, the Commission
intended to issue an order canceling the registrations of any or all of
the identified transfer agents. The Commission received no responses to
the notice.
Accordingly, the Commission is cancelling the registrations of the
52 transfer agents identified in the Appendix attached to this Order.
Order
On the basis of the foregoing, the Commission finds that each of
the transfer agents whose name appears in the attached Appendix either
is no longer in existence or has ceased doing business as a transfer
agent.
It is therefore ordered pursuant to Section 17A(c)(4)(B) of the Act
that the registration as a transfer agent of each of the transfer
agents whose name appears in the attached Appendix be and hereby is
cancelled.
For the Commission by the Division of Trading and Markets pursuant
to delegated authority.\4\
---------------------------------------------------------------------------
\4\ 17 CFR 200.30-3(a)(22).
---------------------------------------------------------------------------
Action as set forth or recommended herein approved pursuant to
authority delegated by the Commission under Public Law 87-592.
For the Division of Trading and Markets.
Moshe Rothman,
Assistant Director.
J. Matthew DeLesDernier,
Deputy Secretary.
Appendix
------------------------------------------------------------------------
Transfer agent name File No.
------------------------------------------------------------------------
Advanced Fund Administration, LLC......................... 084-06396
Ameritor Financial Corp................................... 084-00018
Andesa Services, Inc...................................... 084-06233
Bank Of Commerce & Trust Co............................... 084-06235
Colbent Corp.............................................. 084-05927
Cronos Capital Corp....................................... 084-00977
Donald Rivers Goolsby Whfit............................... 084-06560
Dynamic Transfer Services Corp............................ 084-06394
Fidelity Transfer Services, Inc........................... 084-06405
Financial Data Services Inc............................... 084-01339
First National Bank In Sioux Falls........................ 084-06228
Foresight Asset Management LLC............................ 084-06051
Gartmore Investors Services, Inc.......................... 084-06229
Grohe Aktiengesellschaft.................................. 084-06022
Gulf Registrar And Transfer Corp.......................... 084-06136
Hartford Investor Services Co LLC......................... 084-05882
Interstate Transfer Co.................................... 084-05573
M & K Produce Inc......................................... 084-06183
National Western Life Insurance Co........................ 084-00693
Orbitex Fund Services Inc................................. 084-01493
Orion Share Transfer LLC.................................. 084-06295
Patriot Stock Transfer LLC................................ 084-06382
Portfolios Inc............................................ 084-05551
Preferred Partnership Services Inc........................ 084-05747
Presidential Life Corp.................................... 084-00816
Pyxis Global Financial Services........................... 084-06463
Republic Stock Transfer Inc............................... 084-01124
Reserve Fund.............................................. 084-00449
Reserve Management Corp................................... 084-05838
Reserve Petroleum Co...................................... 084-00630
Reserve Short-Term Investment Trust....................... 084-06156
Retirement System Consultants Inc......................... 084-01972
SCC Transfer, LLC......................................... 084-06579
Seligman Common Stock Fund Inc............................ 084-00503
Seligman Core Fixed Income Fund Inc....................... 084-05921
Seligman High Income Fund Series.......................... 084-01266
Seligman New Jersey Municipal Fund Inc.................... 084-01686
Seligman Pennsylvania Municipal Fund Series Inc........... 084-01486
Seligman Select Municipal Fund Inc........................ 084-01896
Seligman Tax-Aware Fund, Inc.............................. 084-05894
Tass LLC.................................................. 084-06115
The Provo Group, Inc...................................... 084-05890
Travelers Rest Resort Inc................................. 084-06056
Truman Stock Transfer LLC................................. 084-06320
Universal Stock Transfer Co., Inc......................... 084-06308
Wall Street Transfer Agents Inc........................... 084-06203
West Coast Stock Transfer, Inc............................ 084-06138
[[Page 72578]]
American Heritage Stock Transfer, Inc..................... 084-06137
Dominion Filing And Transfer Inc.......................... 084-06514
European Fund Services S.A................................ 084-06182
Pioneer Global Investments Ltd............................ 084-05682
Law Debenture Trust Co Of New York........................ 084-06087
------------------------------------------------------------------------
[FR Doc. 2022-25665 Filed 11-23-22; 8:45 am]
BILLING CODE 8011-01-P
